Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Alan Ferency is an active advisor registered with Guggenheim Securities, LLC. James has been in the securities industry since 1984 and has a diverse range of experience in the financial services industry. James is registered in New York and holds the Series 7, Series 24, Series 63 and Series 79TO licenses. James was previously affiliated with J.P.Morgan Securities Inc. and Bear, Stearns & Co. Inc. James has worked in the financial services industry for over 35 years.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
1
2
NY
06/22/2009 - Present
Guggenheim Securities, LLC (NEW YORK NY)
NY
10/01/2008 - 02/18/2009
J.P.MORGAN SECURITIES INC. (NEW YORK NY)
NY
06/02/2008 - 10/01/2008
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
NY
10/23/1993 - 06/02/2008
BEAR, STEARNS & CO. INC. (NEW YORK NY)
NY
07/26/1990 - 06/05/1993
GLEACHER & CO. INC. (NEW YORK NY)
NY
09/25/1984 - 03/14/1990
SALOMON BROTHERS INC. (NEW YORK NY)
BC
Issued 11/13/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/22/1994
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/15/1984
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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